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Clint Nolan Elms

CRD# 4799558·Registered 2004 - 2017
Previously Registered: Being a previously registered professional could mean that Clint is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Clint Nolan Elms was a registered financial advisor. Clint was a previously registered financial professional and started their career in finance 2004 - 2017. Clint had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

22 years in the financial services industry

Current & Past Employments

USAA FINANCIAL PLANNING SERVICES·CRD# 106352
RIA
San Antonio, TX
October 19, 2011 - June 27, 2017
USAA INVESTMENT SERVICES COMPANY·CRD# 5475
BD
San Antonio, TX
October 14, 2011 - October 17, 2016
USAA FINANCIAL ADVISORS, INC.·CRD# 129035
BD
San Antonio, TX
October 14, 2011 - June 27, 2017
USAA INVESTMENT SERVICES COMPANY·CRD# 5475
BD
San Antonio, TX
September 28, 2009 - February 25, 2011
USAA FINANCIAL PLANNING SERVICES·CRD# 106352
RIA
San Antonio, TX
February 9, 2006 - February 25, 2011
USAA FINANCIAL ADVISORS, INC.·CRD# 129035
BD
San Antonio, TX
February 7, 2006 - February 25, 2011
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
Stephenvillel, TX
August 26, 2004 - January 28, 2006
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
August 13, 2004 - January 28, 2006
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
August 13, 2004 - January 28, 2006

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Current Firm

UF
USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL PLANNING NETWORK | USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC. | USAA FINANCIAL PLANNING SERVICES | USAA FINANCIAL PLANNING NETWORK, INC. | USAA FINANCIAL PLANNING NETWORK INC

CRD#: 106352 / SEC#: 801-53347

Contact Information

Main Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/31/2017)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2004About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2004About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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